JM
James T. Menezes
CETERA INVESTMENT ADVISERS LLC
EUGENE, OR
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CRD#: 1216464
JM
Professional summary
James Thomas Menezes is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eugene, Oregon and CETERA WEALTH SERVICES, LLC located in Eugene, Oregon.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 450 COUNTRY CLUB RD STE 330; EUGENE; OR; 97401; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/12/2008; 48; 48; SALES OF FIXED INSURANCE PRODUCTS| 2) NAME OF OTHER BUSINESS: JAMES T MENEZES INC. DBA TIDEPOOL WEALTH STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 25; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view James Thomas Menezes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
EUGENE, OR
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 450 Country Club Rd Ste 350, Eugene, OR 97401BD
CRD#: 13572
Eugene, OR
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 7, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
EUGENE, OR
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EUGENE, OR
Past
February 10, 1999 - December 31, 2004
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
EUGENE, OR
Past
May 20, 1994 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
May 24, 1988 - May 31, 1994
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Past
March 12, 1987 - June 14, 1988
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
March 15, 1984 - May 31, 1994
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Hawaii(6/9/2021)
RR
Idaho(6/9/2021)
RR
Illinois(6/9/2021)
RR
Indiana(7/12/2023)
RR
Louisiana(6/9/2021)
RR
Maine(6/9/2021)
RR
Michigan(6/9/2021)
RR
Minnesota(6/9/2021)
RR
Mississippi(6/9/2021)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
Nebraska(7/3/2024)
RR
Nevada(6/9/2021)
RR
New Mexico(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
Oregon(6/9/2021)
IAR
Oregon(6/29/2023)
RR
Pennsylvania(6/9/2021)
RR
Rhode Island(5/6/2025)
RR
Tennessee(5/5/2023)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
